Roderick F. Mulcahy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roderick Finbarr Mulcahy, who also goes by Rory Mulcahy, was a registered financial professional .
Roderick is a previously registered financial professional and started their career in finance in 1987. Roderick had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2015 - January 9, 2018
WALL STREET ACCESS
June 29, 2015 - July 9, 2015
WALL STREET ACCESS
April 10, 2008 - September 26, 2013
NCB SECURITIES, LLC
August 28, 2003 - September 21, 2007
GLOBAL OAK CAPITAL MARKETS LLC
July 26, 1996 - February 3, 1999
BARINGS SECURITIES LLC
November 13, 1992 - August 10, 1995
GUZMAN & COMPANY
March 21, 1989 - November 15, 1990
SCHRODER & CO. INC.
July 25, 1987 - January 17, 1989
HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 7/21/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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